Search for: "Investment Management Advisory Group"
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8 Apr 2008, 3:48 pm
Hawes is the owner and president of Financial Management Advisory Services (FMAS) and Financial Management Services (FMS) Inc. [read post]
21 Feb 2017, 11:29 am
She also is a member of the Sustainability Accounting Standards Board’s (SASB) Investment Advisory Group and serves on various index advisory boards. [read post]
23 Feb 2007, 8:46 am
Smith, senior vice president of Walden Asset Management, a Boston-based fund for socially responsible investing and one of the founding partners of the working group, "but they need to do due diligence to see how it would be put to effect in the U.S. market. [read post]
7 Dec 2022, 11:17 am
If you are concerned about investments with Brad Goodbred and LPL Financial, the securities attorneys at The White Law Group may be able to help you. [read post]
21 Apr 2021, 9:37 am
The following is a list of broker dealers that allegedly sold GPB Holdings II to investors, according to the Form D filings: Axiom Capital Management, Inc Ascendant Alternative Strategies, LLC ACCELERATED CAPITAL GROUP ADVISORY GROUP EQUITY SERVICES LTD. [read post]
12 Jun 2023, 2:08 pm
Lawsuit Filed Against Cetera over High-Risk Investments In March 2021, The White Law Group filed a FINRA claim on behalf of a retired Bend, Oregon couple alleging Cetera Advisor George Merhoff, Jr. unsuitably invested his clients in high-risk energy investments and MLPs. [read post]
19 Feb 2020, 2:30 am
Despite his checkered employment record, he has been affiliated with 7 different advisory firms during his career, including Concorde Investment Services in Spring Lake, NJ, and Westminster Financial Services in Providence, Rhode Island. [read post]
24 Jun 2016, 4:50 am
Investors groups could include anyone that buys securities on either a minority or majority basis. [read post]
17 Sep 2018, 7:56 am
If you suffered losses investing with Tamara Steele & Steele Financial, the attorneys at The White Law Group may be able to help you. [read post]
20 Jul 2021, 7:10 am
By Amanda Maine, J.D.In a new white paper, advocacy group Better Markets outlined the importance of environmental, social, and governance (ESG) issues and how the SEC can improve its approach to ESG. [read post]
28 Apr 2009, 9:18 am
Some of the proprietary products the brokers were allegedly pushed to sell included Fidelity's own life insurance products, particularly annuities, and Portfolio Advisory Services, a program managed by a Fidelity-run registered investment adviser that invests in Fidelity mutual funds or a mix of proprietary and external mutual funds. [read post]
8 May 2009, 9:15 am
Proponents, which include the American Federation of State, County, and Municipal Employees (AFSCME), Walden Asset Management, religious groups, and individual investors, have hailed the better showing by "say on pay" resolutions this season and expressed hope that the vote results will spur Congress to mandate advisory votes at all U.S. companies. [read post]
6 Oct 2014, 7:03 am
A jury decided in the SEC’s favor against the advisory firm Benjamin Lee Grant that the SEC argued improperly induced clients to follow him when he left the broker-dealer Wedbush Morgan Securities to his advisory firm, Sage Advisory Group. [read post]
4 Jul 2011, 2:59 pm
Further, banks should be granted the same exemption from municipal advisor registration as registered investment advisors are for comparable advisory activities. [read post]
22 May 2016, 1:26 pm
In March 2013, the SEC filed a civil injunctive action and obtained an asset freeze against Caplitz and Insight Onsite Strategic Management, Herman’s investment advisory firm. [read post]
14 Dec 2017, 5:57 am
KKR and FS Investments plan to create the largest BDC platform on the market, with approximately $18 billion in combined assets under management. [read post]
23 Mar 2018, 8:04 am
She also has served as an Editorial Advisory Board Member for human resources, employee benefit and other management focused publications of BNA, HR.com, Employee Benefit News, InsuranceThoughtLeadership.com and many other prominent publications and speaks and conducts training for a broad range of professional organizations and for clients, serves on the faculty and planning committee of many workshops, seminars, and symposia, and on the Advisory Boards of… [read post]
16 Jan 2020, 12:14 pm
TrustHCS, based in Springfield, Mo., is a provider of staffing and advisory services for coding, clinical documentation improvement, denial management and coding education solutions. [read post]
2 Jul 2020, 4:13 am
K11 Group Limited, Consolidated Oppositions Nos. 91230955, 91230956, and 91236465 [Section 2(d) oppositions to registration of the marks K11 in standard and stylized forms, and the mark ATELIER K11 (stylized) for "Leasing and rental of real estate, real estate agency services, real estate management services, real estate valuation services, real estate appraisal, real estate brokerage, real estate investment services, rental of offices and apartments; financial… [read post]
10 May 2012, 2:39 pm
Speaking before the Private Equity International Private Fund Compliance Forum, Securities and Exchange Commission Office of Compliance Inspections and Examinations Director Carlo di Florio reminded the audience that investment advisers are fiduciaries to advisory clients, including client funds. [read post]
